Content Options

View Options

Status: You are viewing the version of the handbook as on 2009-03-31.

FEES 3 Annex 6 1Fees payable for a permission or guidance on its availability in connection with the Basel Capital Accord

R

32Part 1Fees payable other than in relation to the 4counterparty credit risk internal model method.1

141

(1) Paragraphs (2) and (3) deal with an application made to the FSA rather than a request for assistance under the Capital Requirements Regulations 2006.

(2) 4For firms falling into a group (Group 1) in which there are 4five or more significant overseas entities to which the application relates and the application is for permission to use one of the advanced prudential calculation approaches listed in Tables 1 or 2 or guidance on the availability of such a permission4 the fees in Table 1 are applicable.

(3) For all other firms the fees in Table 2 are applicable.4

(4)

(4)4Where a request for assistance regarding an Advanced or Foundation IRB application under the Capital Requirements Regulations 2006 has been made to the FSA as detailed in FEES 3.2.7 R (o), the fees in Table 1 and Table 2 are applicable if any firm referred to in FEES 3.2.7 R (o)(ii) meets the following conditions:4

(i) it is a UK domestic firm4 and has permission to accept deposits; and

(ii) the firm does not fall within Group 4 as defined in 4Table 2.3

(5) If however the application or request is in relation to the use of the advanced IRB approach and the FSA (in the case of (2) or (3)) or the relevantHome State regulator (in the case of (4)) has already granted permission for the use of the foundation IRB approach at the time of the application then Table 3 applies.4

444

Table 1

Application group

Description of group

Application fee 2008/0942

234

Advanced IRB ('000)

Foundation IRB ('000)

AMA ('000)

Group 1

Five or more significant overseas entities as described in more detail in the definition of Group 1 in the introduction to Part 1 of this Annex4

4

2684

334

2324

234

1814

234

Table 2

Application group

Description of group

Application fee 2008/0942

234

Modified eligible liabilities (m)

Number of traders as at 31 December 20074

234

Advanced IRB ('000)

Foundation IRB ('000)

AMA ('000)

Group 2

>40,000

>200

2324

234

1984

234

1464

234

Group 3

>5,000 - 40,000

26 - 200

944

234

724

234

514

234

Group 4

0 - 5,000

0 - 25

424

234

304

234

244

234

(1)

[Deleted]4

4

(2)

For the purposes of Table 2, a firm's A.1 or A10 tariff data for the relevant period will be used to provide the value of modified eligible liabilities or number of traders.

4Table 3 (Advanced IRB approach where the FSA or Home State regulator has already given permission to use the foundation IRB approach)

Application group

Advanced IRB Application fee 2008/09 ()

Group 1

67,000

Group 2

58,000

Group 3

23,500

Group 4

10,500

The four application groups have the same meaning as they do in Tables 1 and 2.

2Part 2

Fees payable in relation to4 the counterparty credit risk internal model method.1

54,000

141344